OSC Staff Notice 11-739 (Revised) - Policy Reformulation Table of Concordance and List of New Instruments

OSC Staff Notice 11-739 (Revised) - Policy Reformulation Table of Concordance and List of New Instruments

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OSC STAFF NOTICE 11-739 (REVISED)
POLICY REFORMULATION TABLE OF CONCORDANCE AND LIST OF NEW INSTRUMENTS

 

The following revisions have been made to the Table of Concordance and List of New Instruments. A full version of the Table of Concordance and List of New Instruments as of September 30, 2020 has been posted to the OSC Website at www.osc.gov.on.ca.

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Table of Concordance

Item Key

The third digit of each instrument represents the following: 1-National/Multilateral Instrument; 2-National/Multilateral Policy;

3-CSA Notice; 4-CSA Concept Release; 5-Local Rule; 6-Local Policy; 7-Local Notice; 8-Implementing Instrument;

9-Miscellaneous

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Reformulation

Instrument

Title

Status

 

31-358

Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments

Published for comment on July 2, 2020

 

25-402

Consultation on the Self-Regulatory Organization Framework

Published for comment on July 2, 2020

 

11-739

Policy Reformulation Table of Concordance and List of New Instruments

Published July 16, 2020

 

45-106

Amendments to National Instrument 45-16 Prospectus Exemptions and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations-- Syndicated Mortgages

Commission approval and request for comment published August 6, 2020

 

11-342

Notice of Local Amendments and Changes in Certain Jurisdictions

Published August 6, 2020

 

45-506

Start-Up Crowdfunding Registration and Prospectus Exemptions (Interim Class Order)

Published August 6, 2020

 

48-501

Amendments to OSC Rule 48-501 -- Trading During Distributions, Formal Bids and Share Exchange Transactions

Published for comment on August 6, 2020

 

51-102

Amendments to NI 51-102 Continuous Disclosure Obligations and Changes to Certain Policies Related to the Business Acquisition Report Requirements

Commission approval published August 20, 2020

 

23-327

Update on Internalization within the Canadian Equity Market

Published August 20, 2020

 

44-102

Amendments -- Shelf Distributions

Ministerial approval published August 27, 2020

 

21-101

Amendments -- Marketplace Operation

Ministerial approval published August 27, 2020

 

31-359

OBSI Joint regulators Committee Annual Report for 2019

Published August 27, 2020

 

94-101

Amendments -- Mandatory Central Counterparty Clearing of Derivatives

Published for comment September 3, 2020

 

21-101

Amendments -- Marketplace Operation

Ministerial approval published September 10, 2020

 

21-706

Variation of Exchange Recognition Orders, ATS Protocol, and Revocation of OSC Staff Notice

Published September 10, 2020

 

33-751

Summary Report for Dealers, Advisers and Investment Fund Managers

Published September 17, 2020

 

81-105

Amendments-- Mutual Fund Sales Practices and Related Consequential Amendments Prohibition of Mutual Fund Trailing Commissions Where No Suitability Determination was required

Commission approval published September 17, 2020

For further information, contact:

Darlene Watson

Project Manager

Ontario Securities Commission

416-593-8148

October 22, 2020